Wendy W. Kong

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

New York, NY 10281

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CRD#: 2653550

Professional summary

Wendy W Kong, who also goes by Wendy W Kong, Wendy Wei Kong, Wendy Wei Yin Kong, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.

Wendy is registered as a RR (Registered Representative) and started their career in finance in 1996. Wendy has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wendy W Kong | Wendy Wei Kong | Wendy Wei Yin Kong

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wendy W Kong's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 28, 2023 - Present

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

Office #1: 225 Liberty Street 35th Floor, New York, NY 10281

CRD#: 313390

New York, NY

Past

March 7, 2018 - October 25, 2023

BROOKFIELD PRIVATE ADVISORS LLC

CRD#: 151423

NEW YORK, NY

Past

February 23, 2018 - October 10, 2018

SERA GLOBAL SECURITIES US LLC

CRD#: 283339

ALPHARETTA, GA

Past

June 1, 2010 - January 2, 2018

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 14, 2009 - April 5, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

JERSEY CITY, NJ

Past

August 28, 2006 - October 16, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 6, 2000 - November 28, 2005

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

April 12, 2000 - August 17, 2000

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

January 1, 1996 - May 14, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/2/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/22/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/22/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 5/29/2007

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/4/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

BROOKFIELD OAKTREE DISTRIBUTORS LLC | BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC | BROOKFIELD OAKTREE WEALTH MANAGEMENT SOLUTIONS LLC

CRD#: 313390 / SEC#: , 8-70722

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

225 Liberty Street 35th Floor, New York, NY 10281

Mailing Address

250 Vesey Street 15th Floor, New York, NY 10281

Phone number

(212) 549-8380

Established

Delaware since 02/04/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BROOKFIELD US INC.	MEMBER
BECK, RAFAEL	FINANCE & OPERATIONS PRINCIPAL	5718571
KONG, WENDY	CHIEF COMPLIANCE OFFICER	2653550
RICHARDSON, SCOTT KIMBALL	HEAD OF LEGAL	5011556
SIDOTI, VICTORIA ANN	DIRECTOR OF FINANCE	7617845
SWEENEY, JOHN MICHAEL	CHIEF EXECUTIVE OFFICER	2554291

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Wendy W. Kong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wendy W Kong's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKFIELD PRIVATE ADVISORS LLC

SERA GLOBAL SECURITIES US LLC

MORGAN STANLEY

FIS BROKERAGE & SECURITIES SERVICES LLC

J.P. MORGAN SECURITIES LLC

GOLDMAN SACHS & CO. LLC

KNIGHT CAPITAL AMERICAS, L.P.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/2/1996

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/22/2002

Series 7

Date: 12/22/1995

Series 14

Date: 1/2/2023

Series 4

Date: 5/29/2007

Series 24

Date: 6/4/2004

FINRA

Current Firm

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

TRUST BUT VERIFY

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